Office of Hearing Officers
The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.
The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.
Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.
View: Orders and Decisions Chronologically | Orders by Topic | Orders by Rule
| Date of Decision | Proceeding No. | Title | Type |
Order No. |
|---|---|---|---|---|
| Jul 8, 2014 | 2012032950101 | Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler | Disciplinary Decision | |
| Jan 14, 2005 | C10040025 | Hearing Panel Decision in Department of Enforcement vs. John Brigandi | Disciplinary Decision | |
| Jan 23, 2014 | 2011029619301 | Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo | Disciplinary Decision | |
| Aug 15, 2008 | 2005001729501 | Hearing Panel Decision in Department of Enforcement v. Gerald J. Kesner | Disciplinary Decision | |
| Aug 28, 2006 | E8A2004095901 | Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig | Disciplinary Decision | |
| Jan 26, 2011 | 2006004122402 | Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre | Disciplinary Decision | |
| Feb 9, 2017 | 2013035344201 | Red River Securities, LLC and Brian Keith Hardwick | Disciplinary Decision | |
| Nov 13, 2018 | 2016050205901 | APPEALED: Charles A. Laverty | Disciplinary Decision | |
| Mar 12, 2015 | FPI140011 | Hearing Panel Decision in Regulatory Operations v. Alex Lubetsky | Expedited Decision, Rule 9550 Expedited Decisions | |
| Nov 6, 2015 | 2014041319201 | APPEALED: Miguel Ortiz | Disciplinary Decision | |
| Feb 7, 2008 | E102004083705 | Hearing Panel Decision in Department of Enforcement v. Lisa Ann Tomiko Nouchi | Disciplinary Decision | |
| Dec 21, 2005 | C01050008 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Aug 5, 2016 | ARB160012 | Fairbridge Capital Markets | Expedited Decision | |
| Apr 5, 2018 | 2015044600801 | Gerard Chandler Gremillion | Disciplinary Decision | |
| Feb 15, 2002 | C01010003 | Hearing Panel Decision as to Respondent | Redacted Decision | |
| Jun 25, 2014 | 2012034211301 | Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed | Disciplinary Decision | |
| Jan 21, 2005 | CMS040069 | Hearing Panel Decision in Department of Enforcement vs. Nicholas R. Sciascia | Disciplinary Decision | |
| Feb 7, 2014 | 2009017899801 | Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson | Disciplinary Decision | |
| Mar 19, 1998 | C07970055 | Hearing Panel Decision | Redacted Decision | |
| Oct 14, 2008 | 2006006890801 | Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn Baldwin | Disciplinary Decision | |
| Sep 30, 2003 | FPI030003 | Hearing Panel Decision in Department of Enforcement v. Stanley M. Wise | Expedited Decision, Rule 9540 Suspension Decisions | |
| Aug 10, 2006 | C07050029 | Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano | Disciplinary Decision | |
| Mar 21, 2017 | 2013035865303 | APPEALED: Spencer Edwards, Inc. and Gordon Dihle | Disciplinary Decision | |
| Jul 26, 2012 | 2009018076101 | Hearing Panel Decision in Department of Enforcement v. Blair A. West | Disciplinary Decision | |
| Nov 14, 2018 | 2014041862701 | APPEALED: Spencer Edwards, Inc. | Disciplinary Decision |